Essential Job Functions:

• Lead or participate in and provide guidance and advice with regard to highly complex applications and special projects. This technical mastery relates to possessing an expert level of knowledge of relevant rules, regulations, guidelines and industry practices.
• Identify notable trends in industry practices, products and procedures.
• Ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner, utilizing critical thinking, interviewing, research and quantitative skills.
• Support MAP management in conducting reviews of staff work product, including reviewing reports and sign-off on the final decision letter.
• Participate in developing and/or delivering training courses for MAP. Proactively identify ideas for in-house training.
• Participate in developing course content and serving as a Subject Matter Expert to the Business Learning & Talent Team on technical accuracy and skill relevancy of training materials and plans. 
• Serve as a mentor to junior staff.
• Present subject matter material for FINRA internal programs and external industry events.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Other Responsibilities:

• Serve as a proxy for a MAP management in meetings on firms and/or applications.
• Other duties as assigned.

Education/Experience Requirements:

• Bachelor’s degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Business Administration, Economics or related field preferred; advanced degree/certifications a plus.
• Minimum eight (8) years of directly relevant experience.
• Expert level of knowledge of business conduct risk and industry practices, securities industry rules, regulations and best practices required. Crypto assets knowledge highly preferred.
• Expert level knowledge of securities products and activities of member firms and the industry.
• Demonstrate an expertise in risk analysis and proactive risk identification. Possess strong analytical skills. Demonstrate a track record in developing appropriate regulatory responses for risks, not just through the exam process.
• Excellent oral and written communications and presentation skills required. Possess excellent time management skills.
• Exemplifies the FINRA Leadership Characteristics and serve as a role model for staff in the department.

Working Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Work may be at FINRA, member firm premises or at various conferences.
• Overnight travel is required.
• Extended hours are frequently required.
• Work expectations include timely and high-quality productivity.

For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations. 

Los Angeles, CA: Minimum Salary $137,000, Maximum Salary $206,000

San Francisco, CA: Minimum Salary $143,000, Maximum Salary $214,000

CO/FL/TX: Minimum Salary $114,200, Maximum Salary $207,200

IL/PA: Minimum Salary $125,900, Maximum Salary $228,000
MA/MD/VA/Washington, DC: Minimum Salary $131,200, Maximum Salary $238,300

NY/NJ: Minimum Salary $131,200, Maximum Salary $248,700

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule